Matthew Rothchild to Speak at 2024 NSCP National Conference
October 27-30, 2024 | NSCP National Conference | Dallas, TX | Speaker: Matthew Rothchild
October 27-30, 2024 | NSCP National Conference | Dallas, TX | Speaker: Matthew Rothchild
In the ever-evolving landscape of compliance, investment advisory and broker-dealer professionals are increasingly turning to technology and third-party vendors to fulfill expanding regulatory requirements. Of those polled by Thomson Reuters for their 2023 “Cost of Compliance” report, 38% of compliance … Read More
April 18, 2024 | Long Beach, CA | Speaker: Michelle L. Jacko, CSCP, CEO
In the rapidly evolving landscape of financial services, off-channel communications present a significant compliance challenge for investment advisers. With the rise of digital platforms, advisers can engage with clients through various channels, such as email, social media, and messaging apps … Read More
March 6 – 8, 2024 | Washington, DC | Speaker: Michelle L. Jacko, CSCP, CEO
Under the Compliance Rule (Rule 206(4)-7) of the Investment Advisers Act of 1940, Investment Advisers (RIAs) registered with the Securities and Exchange Commission (SEC) are mandated to conduct an annual evaluation of their policies and procedures (P&Ps) to assess their … Read More
Often, the difference between safety from a regulator and an enforcement action is knowing where the regulatory lines are drawn and what conduct constitutes an act that crosses those lines. Among the murkiest areas of regulatory concern is Custody. It’s … Read More
In October, The U.S. Securities and Exchange Commission (“SEC”) issued their 2024 exam priorities list,[1] which is only the second time in 10 years that they have released the list prior to year-end. Prior release dates have usually been in … Read More
An investment adviser has custody of client assets if it holds, directly or indirectly, client funds or securities, or if it has the authority to obtain possession of those assets.[1] An investment adviser with custody of client assets must: ensure … Read More
October 24 – 26, 2023 | Philadelphia, PA | Speaker: Michelle L. Jacko, CSCP, CEO